Home » Archive by categoryRegulatory (Page 169)
Australia, Banking, Regulatory Money Laundring, Regulatory, US Ireland, Regulatory Banking, Japan, Regulatory

UK: FCA permissions – use it or lose it

blog.macfarlanes.com/post/102gp16/fca-permissions-use-it-or-lose-itwww.corporatefinancialweeklydigest.com/2021/01/articles/uk-developments/fca-reminds-uk-firms-to-regularly-review-their-regulatory-permission/#page=1www.taylorwessing.com/zh-hant/insights-and-events/insights/2021/01/use-it-or-lose-it-but-beware-the-ukwww.dentons.com/en/insights/articles/2022/may/25/use-it-or-lose-it-the-impact-of-the-fcas-implementation-of-new-cancellation-powerswww.morton-fraser.com/insights/fca-strengthens-use-it-or-lose-it-permissions-powerswww.finance-disputes.co.uk/2022/07/use-it-or-lose-it-fca-accelerates-crack-down-on-unused-regulatory-permissions/#page=1 0
Continue reading
Banking, Regulatory, UK

Australia: APRA Executive Remuneration and Accountability

www.herbertsmithfreehills.com/latest-thinking/executive-remuneration-and-accountability-%E2%80%93-the-revised-apra-cps-511-remunerationpinpoint.cch.com.au/news/csh-da-filter!WKAP_TAL_YASTTNEWS_REFERENCE/legauUio3414166sl1281630159/apra-releases-final-prudential-standardwww.minterellison.com/articles/final-apra-remuneration-standard-cps-511pinpoint.cch.com.au/news/csh-da-filter!WKAP_TAL_YASTTNEWS_REFERENCE/legauUio3414166sl1281630159/apra-releases-final-remuneration-prudential-standardwww.corrs.com.au/insights/examining-apras-final-guidance-on-remuneration-prudential-practice-guide-cpg-511 See also:www.kwm.com/en/au/knowledge/insights/far-is-here-what-does-it-mean-for-insurers-and-insurance-20210803corrs.com.au/insights/federal-government-releases-its-draft-financial-accountability-regime Update:pinpoint.cch.com.au/news/csh-da-filter!WKAP_TAL_YACLTNEWS_REFERENCE/legauUio3435808sl1294019642/apra-finalises-guidance-for-new-prudential-standard-on-remunerationpinpoint.cch.com.au/news/csh-da-filter!WKAP_TAL_YASTTNEWS_REFERENCE/legauUio3435818sl1294030570/apra-guidance-on-new-remuneration-prudential-standardwww.kwm.com/au/en/insights/latest-thinking/apras-proposed-remuneration-disclosure-requirements-under-cps-511.htmlwww.holdingredlich.com/federal-court-clarifies-requirement-for-breach-of-conflicted-remuneration-provisionsCPS 511 Remuneration governance – halfway there? – KWM 0
Continue reading
Australia, Banking, Regulatory

US: Regulators review GameStop Stock Activity following Market Volatility

www.findknowdo.com/news/01/28/2021/state-and-federal-regulators-review-gamestop-stock-activity-following-market-volatility?utmwww.rpc.co.uk/perspectives/professional-and-financial-risks/gamestop-a-game-of-chicken/#page=1www.osler.com/en/blogs/risk/february-2021/regulators-forced-to-respond-to-gamestop-corp-s-historic-yo-yowww.findknowdo.com/news/02/23/2021/sec-commissioner-peirce-reaffirms-agency-mission-light-gamestop?utm_source=Newsletter&utmwww.findknowdo.com/news/05/06/2021/house-committee-considers-bills-addressing-gamestop-and-archegos-market-events?utmSee also:www.findknowdo.com/news/02/18/2021/house-financial-services-committee-hears-testimony-key-players-gamestop-trading-event?utmUpdate:www.findknowdo.com/news/02/26/2021/crs-provides-timeline-gamestop-market-volatility?utmwww.findknowdo.com/news/02/26/2021/sec-suspends-trading-fifteen-companies-securities?utmwww.finance-disputes.co.uk/2021/02/gamestopped-regulators-react-to-the-short-squeeze/#page=1www.findknowdo.com/news/03/09/2021/senate-banking-committee-chair-sherrod-brown-criticizes-gamification-gamestop?utmwww.findknowdo.com/news/03/17/2021/house-financial-services-committee-considers-reform-recommendations-after-gamestop-trading-event?utmwww.findknowdo.com/news/04/05/2021/crs-reviews-role-payment-order-flow-debate-over-zero-commissions?utmwww.findknowdo.com/news/09/17/2021/massachusetts-brings-enforcement-actions-against-roaring-kittys-employer?utm 0
Continue reading
Banking, Regulatory, US

US: Key Takeaways from FinCEN’s 390 million USD Capital One Enforcement Action

blog.freshfields.us/post/102gpj0/aml-update-key-takeaways-from-fincens-recent-capital-one-enforcement-action#page=1www.steptoeinternationalcomplianceblog.com/2021/02/fincen-announces-390000000-civil-penalty-against-capital-one-for-bank-secrecy-act-violations/#page=1riskandcompliance.freshfields.com/post/102gpk6/aml-update-key-takeaways-from-fincens-recent-capital-one-enforcement-actionwww.privateequitylitigation.com/2021/03/fincens-390-million-case-against-capital-one-and-what-it-means-for-aml-enforcement/#page=1 0
Continue reading
Money Laundring, Regulatory, US Banking, Regulatory, US Regulatory, US